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U.S. CFTC Enforcement: Key Compliance Takeaways from 2016
  • Reed Smith LLP
  • USA
  • January 16 2017

In 2016, the U.S. Commodity Futures Trading Commission brought several


The Financial Report, 13 January 2017, Discussion and Analysis
  • DLA Piper LLP
  • USA
  • January 13 2017

As we enter our sixth year of publication, I am reminded of the old curse (or is it a blessing?), "may you live in interesting times." Before our


The Financial Report, 13 January 2017, US Judicial Developments
  • DLA Piper LLP
  • USA
  • January 13 2017

A shareholder of Archon Corp.’s preferred stock appealed the district court’s dismissal of his class action suit against the company for breach of


The Financial Report, 13 October 2017, US Securities and Exchange Commission Developments
  • DLA Piper LLP
  • USA
  • January 13 2017

The Securities and Exchange Commission approved a final rule to implement the first annual adjustment for inflation of the maximum amount


The Financial Report, 13 January 2017, US Banking Developments
  • DLA Piper LLP
  • USA
  • January 13 2017

The OCC, the Board of Governors of the Federal Reserve System, and the FDIC announced that they have published an interagency final rule


Groundbreaking Russia Sanctions Bill Introduced in the Senate
  • Steptoe & Johnson LLP
  • Russia, USA
  • January 13 2017

On January 11, 2017, a bipartisan group of US Senators introduced a bill - the Countering Russian Hostilities Act of 2017 - to impose unprecedented


Paying for the Wall: Will President Trump’s Administration Scrutinize, Tax, or Seize Remittances?
  • K&L Gates
  • USA
  • January 13 2017

One of the most significant post-election questions for the financial-services industryparticularly global financial institutions that move money


Four Individuals, Including Ban Ki-moon’s Brother and Nephew, Face FCPA Charges Related to Vietnam Project
  • BuckleySandler LLP
  • USA
  • January 13 2017

On January 10, the DOJ announced the unsealing of an indictment charging four individuals, including the nephew and brother of former UN


FinCEN Issues Guidance on Sharing Suspicious Activity Reports with U.S. Parents and Affiliates of Casinos
  • BuckleySandler LLP
  • USA
  • January 13 2017

On January 4, the Financial Crimes Enforcement Network (FinCEN) issued guidance to "confirm that, under the Bank Secrecy Act (BSA) and its


FINRA Fines Brokerage Firm $5.75M for Lax Anti-Money Laundering Program
  • BuckleySandler LLP
  • USA
  • January 13 2017

On December 28, FINRA entered into an acceptance, waiver, and consent (AWC) agreement with a Puerto-Rican-based brokerage firm based upon allegations